| 金融改革浪潮下的韩国资本市场法——以投资者保护制度为中心的考查 |
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| 引用本文： | 南玉梅.金融改革浪潮下的韩国资本市场法——以投资者保护制度为中心的考查[J].宁波大学学报(人文科学版),2015,0(4):118-122. |
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| 作者姓名： | 南玉梅 |
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| 作者单位： | (武汉大学 法学院,湖北 武汉 430072) |
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| 基金项目： | 武汉大学自主科研项目，得到“中央高校基本科研业务费专项资金”资助 |
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| 摘 要： | 全球金融改革的浪潮下，2009年制定的韩国资本市场法顺应时代的潮流采取功能型立法模式允许兼业经营的同时，兼顾了投资者利益的保护。首先，将投资者区分为一般投资者与专业投资者，针对不同类型的投资者采取不同的保护方法。其次，构建利益冲突防御体系、规制投资劝诱行为以及规制投资广告，强化金融投资公司在买卖金融投资商品中的说明义务、适合性原则等具体措施强化对一般投资者的保护。
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| 关 键 词： | 韩国资本市场法 功能型规制 兼业经营 利益冲突 投资者保护 |
The South Korean Capital Market Law in the Tide of Global Financial Reform |
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| NAN Yu-mei.The South Korean Capital Market Law in the Tide of Global Financial Reform[J].Journal of Ningbo University(Liberal Arts Edition),2015,0(4):118-122. |
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| Authors: | NAN Yu-mei |
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| Institution: | (School of Law, Wuhan University, Wuhan 430072, China) |
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| Abstract: | The Capital Market and Financial Investment Services Act (Korean Capital Market Law) which will be implemented from 4 Feb, 2009 has more advanced investor protection system than before. In this Act, the most important concept is investor protection. For the concept of protect investor, the law defines financial investment products in negative way, and adopts functional regulation, in order to eliminate regulatory arbitrage. Besides this, the Act prohibits improper solicitation and regulates investment advertising. Furthermore, the Korean Capital Market Law in order to protecting investor in the universal banking system in securities industry, they establish the system to prevent conflicts of interest. Studying the legislative of Korean Capital Market Law will be providing a good experience to Chinese Capital Market Law |
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| Keywords: | Korean Capital Market Law functional regulation concurrence business conflicts of interest investor protection |
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